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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SCHWARTZ ALICE N C/O BIO-RAD LABORATORIES, INC. 1000 ALFRED NOBEL DRIVE HERCULES, CA 94547 |
X | X |
Alice N. Schwartz | 01/22/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | On October 1, 2013, 2,772,912 Class A shares were transferred to the following trusts: 90 shares to the David Schwartz Exemption Trust; 240 shares to the David Schwartz Exempt Marital Trust, 898,931 shares to the David Schwartz Non-Exempt Marital Trust and 1,873,651 shares to the Alice N. Schwartz Revocable Trust. These shares were previously held by the David and Alice Schwartz Trust, of which Alice N. Schwartz was the sole trustee after the death of her husband, David Schwartz. |
(2) | On October 1, 2013, 498,950 Class B shares were transferred to the following trusts: 57,000 shares to the David Schwartz Non-Exempt Marital Trust. and 441,950 shares to the Alice N. Schwartz Revocable Trust. These shares were previously held by the David and Alice Schwartz Trust, of which Alice N. Schwartz was the sole trustee after the death of her husband, David Schwartz. |
(3) | The shares are held by a limited partnership of which the reporting person is a limited and general partner. |
(4) | The shares are held by a limited partnership of which the reporting person is a general partner. |